1. Compliance
  2. Consultation


Our consultation is designed to encourage quality engagement from interested businesses and individuals, balanced with the need to complete policy work within the required timeframe. When consulting on policy development we will:

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Found 91 results. Displaying page 1 of 5

    • Closed - with decision

    17 December 2018

    Consultation paper: Proposed exemption for same class offers of ASX NZX-quoted financial products

    The notice provides exemptions for offers of financial products of the same class as ASX-quoted financial products in cases where the ASX-listed issuer has a secondary listing with NZX on an equivalent basis as the same class offers exclusion in Schedule 1 of the FMC Act, with modifications that enable Australian issuers operating under Australian regulatory requirements to give cleansing notices to ASX and NZX.


    • Closed - with decision

    1 November 2018

    Consultation paper: Determining whether you are acquiring a business or assets

    We are consulting on guidance on how to determine whether a business has been acquired (or is to be acquired). Under the FMC Regulations, prescribed financial information about business acquisitions must be included in the PDS for an offer of debt or equity. It is sometimes not clear what is a business acquisition for these purposes.


    • Closed - pending response

    10 July 2018

    Consultation paper: Exemptions, other legislative notices, and unnecessary compliance costs

    We seek feedback on any notice that: has not effectively minimised the compliance costs it aims to address causes unintended compliance cost could go further to address, unnecessary compliance costs not identified when the notice was made.


    • Closed - pending response

    16 April 2018

    Consultation paper: Including an annual declaration of compliance in regulatory returns and updating the standard regulatory returns condition

    Licensees will be asked to confirm they have adequate systems, processes and controls in place to ensure compliance with their market services obligations and that they have operated effectively over the relevant period.


    • Closed - pending response

    12 March 2018

    Consultation paper: Content of regulatory returns for licensed DI, MIS managers and DIMS providers

    This consultation outlines the information we plan to ask about the regulatory returns for those providers. These returns are required by law and help us make sure licensees continue to perform their market services effectively, post-licensing


    • Closed - with decision

    28 February 2018

    Consultation paper: Updated Corporate Governance Handbook

    The handbook is designed as a guide for a wide range of companies and businesses. The focus in our revised handbook shifts away from listed companies, but remains a practical guide for directors and executives of New Zealand-based companies and entities of various types and size, to help them apply corporate governance principles effectively.


    • Closed - with decision

    19 July 2017

    Consultation paper: KiwiSaver annual statements - calculation of total fees in dollars

    We have issued a methodology notice which helps KiwiSaver scheme providers calculate the total fees charged to each investor. See the methodology notice, regulatory impact statement and amended guidance note for managed funds on fee disclosure above.


    • Closed - with decision

    22 May 2017

    Consultation paper: Proposed exemption from the obligation to prepare scheme financial statements for bundled unit trusts

    The exemption granted by this notice exempts the manager of the bundled unit trust structures from the requirement to prepare financial statements for the scheme (as opposed to financial statements for each of the separate funds) provided the criteria in clause 5 are met.


    • Closed - with decision

    15 May 2017

    Consultation paper: Class designation of shares to managed investment products in an MIS

    Consultation paper: Class designation of shares to managed investment products in an MIS. This consultation paper considers when shares in investment companies may be designated as managed investment products (MIPs). Being MIPs subject these investment companies to the licensing, disclosure and governance requirements of managed investment schemes.